RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
M•••• B•••• B•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 18, 2009 · Mckinney, Tx
- H••••• F•••••••• S•••••••• L••• independent RIAAug 5, 2008 to Nov 18, 2009 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 28, 2005 to May 14, 2008 · Atlanta, Ga
- H••••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Nov 18, 2009, registered Nov 18, 2009 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••••• F•••••••• S•••••••• L•••left May 14, 2008, registered Aug 5, 2008 (83 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address